DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Msi Financial Services, Inc.
Latest filing Jan 3, 2017
First filing on the tape Mar 26, 2012 · 49 filings
RAUM
$14B
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8,508
4,082 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$14B as of Dec 1, 2015
Mar 26, 2012$4.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3,762 as of Dec 1, 2015
Mar 26, 20120 then
Employees (5.A)8,508 as of Dec 1, 2015
Mar 22, 20137,431 then
Private funds: no history
RAUM +65% over the last fiscal year+34% a year over threeIARs 3,047 to 3,762
Practice profile
derived from the filing of Jan 3, 2017; every figure names its basis
- RAUM per advisor
- $3.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $130,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 627.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +65%derivedbetween the last two annual amendments
- Advisor growth, one year
- +23%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 3,500reportedItem 5.H
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 105,831reported
- Financial planning clients
- 3,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Troy Robert Bangs to LPL Financial LLCMar 28, 2017 · Other
- Anthony Randall Bartlett to MarinerMar 25, 2017 · Other
- Daniel Patrick Maguire to Newsquare Capital, LLCMar 25, 2017 · Other
- Kevin Barry Oneill to Newsquare Capital, LLCMar 25, 2017 · Other
- Daniel Ronald Gagnon to MarinerMar 25, 2017 · Other
- Daniel Joseph Flynn to Walnut Street Securities, Inc.Mar 25, 2017 · Other
- Joseph Vincent Naselli to Newsquare Capital, LLCMar 25, 2017 · Other
- Brian Charles Mcgeehan to Newsquare Capital, LLCMar 25, 2017 · Other
- Jeffrey Laurence Gruehn to Newsquare Capital, LLCMar 25, 2017 · Other
- Robert Arthur Newman to Newsquare Capital, LLCMar 25, 2017 · Other
- Jeffrey John Bannon to MarinerMar 25, 2017 · Other
- Robert M Marasheski to Newsquare Capital, LLCMar 25, 2017 · Other
- Albert M Corrato to Newsquare Capital, LLCMar 25, 2017 · Other
- David Joseph Watson to Tower Square Securities, Inc.Mar 25, 2017 · Other
- Stephen Andrew Cassidy to Walnut Street Securities, Inc.Mar 25, 2017 · Other
Joined, latest
- Henry J Plyler from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 8, 2017 · Other
- David Doron Mehler from Pruco Securities, LLCMar 1, 2017 · Other
- Matthew Crowe from Equitable Advisors, LLCMar 1, 2017 · Other
- Lucas John Matarazzo from Mcadam LLCFeb 28, 2017 · Other
- Amanda Sue Van Schaik from Nationwide Securities, LLCFeb 24, 2017 · Other
- Michael Odell Mcknight from Park Avenue Securities LLCFeb 24, 2017 · Other
- Jason Brian Coopersmith from Equitable Advisors, LLCFeb 23, 2017 · Other
- Drew Fisher Catanese from Waddell & ReedJan 27, 2017 · Other
- Ledell Johnson from St. Bernard Financial Services, Inc.Jan 26, 2017 · Other
- Sameer Srivastava from Pruco Securities, LLCJan 23, 2017 · Other
- Roger Dale Malcolm from Mutual Of Omaha Investor Services, Inc.Jan 6, 2017 · Other
- David Patrick Nadeau from LPL Financial LLCJan 4, 2017 · Other
- Daniel Joseph Heidelberger from Thrivent Investment Management Inc.Jan 3, 2017 · Other
- Neal James Hebert from Concourse Financial Group AdvisorsDec 16, 2016 · Other
- Stephen Terry Wagstaff from Equitable Advisors, LLCDec 14, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 22 left for MarinerMar 25, 2017 · Boston, Ma
- 2 left for MarinerMar 25, 2017 · Falmouth, Me
- 9 left for MarinerMar 25, 2017 · Manchester, Nh
- 29 left for Newsquare Capital, LLCMar 25, 2017 · Newtown Square, Pa
- 2 left for Walnut Street Securities, Inc.Mar 25, 2017 · Charlotte, Nc
- 2 left for Walnut Street Securities, Inc.Mar 25, 2017 · Iselin, Nj
- 2 left for Tower Square Securities, Inc.Mar 25, 2017 · Aurora, Il
- 2 left for Tower Square Securities, Inc.Mar 25, 2017 · Flemington, Nj
- 3 joined from MarinerJan 31, 2020 · Overland Park,, Ks
- 3 joined from Ifs Planning Strategies, LLCOct 21, 2019 · Bloomington, In · Firm absorbed
- 10 joined from MarinerApr 5, 2018 · Overland Park,, Ks
- 2 joined from MarinerApr 5, 2018 · Osterville, Ma
- 2 joined from MarinerFeb 1, 2018 · Wellesley, Ma
- 29 joined from MarinerJan 25, 2018 · Overland Park,, Ks
- 2 joined from Eagle Strategies LLCAug 15, 2016 · Waltham, Ma
- 3 joined from Firstrust Financial AdvisorsAug 2, 2016 · Philadelphia, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Thomas K Bauer · Vice Presidentcontrolsince 07/2016 · owns less than 5%
- Wendy Ann Benson · Chief Executive Officer And Directorcontrolsince 07/2016 · owns less than 5%
- Elizabeth Ward Chicares · Directorcontrolsince 07/2016 · owns less than 5%
- Marc Allan Cohn · Vice President And Chief Compliance Officercontrolsince 09/2006 · owns less than 5%
- Michael Robert Fanning · Directorcontrolsince 07/2016 · owns less than 5%
- Amy Francella · Secretary And Chief Legal Officercontrolsince 11/2015 · owns less than 5%
- Bruce Carter Frisbie · Assistant Treasurercontrolsince 11/2016 · owns less than 5%
- David Michael Holtzer · Presidentcontrolsince 11/2016 · owns less than 5%
- Paul A Lapiana · Senior Vice President And Directorcontrolsince 11/2016 · owns less than 5%
- John Gregory Martinez · Vice President, Chief Financial Officer And Treasurercontrolsince 01/2007 · owns less than 5%
- David Myers Mink · Vice Presidentcontrolsince 07/2016 · owns less than 5%
- John Arthur Vaccaro · Chairman And Directorcontrolsince 07/2016 · owns less than 5%
- Mary Bea Wilkinson · Vice Presidentcontrolsince 07/2016 · owns less than 5%
Entity owners
- Massachusetts Mutual Life Insurance Company · Direct Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Baring Asset Management Limitedinvestment adviserbankpooled vehicle sponsorn
- Barings (U.K.) Limitedinvestment adviserbankpooled vehicle sponsorn
- Barings LLCinvestment adviserbanknRAUM $393B
- Cornerstone Real Estate Advisers LLCinvestment adviserLP sponsornRAUM $33B
- Haven Life Insurance Agency LLCreal estaten
- Massachusetts Mutual Trust Company, Fsbn
- Massachusetts Mutual Life Insurance Companybankreal estatey
- Massmutual Asia Limitedreal estaten
- MML Distributors, LLCbroker-dealern
- MML Insurance Agency LLCreal estaten
- MML Investment Advisers LLCinvestment adviserbankn
- MML Strategic Distributors, LLCbroker-dealern
- Mmlisi Financial Alliances, LLCinvestment adviserreal estaten
- Oppenheimerfunds Distributor, Inc.broker-dealern
- Oppenheimerfunds Incinvestment adviserbankpooled vehicle sponsornRAUM $827,684
- Society Of Grownups, LLCinvestment advisern
Advisers that list Msi Financial Services, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA
- Ft Lauderdale, FL
- Iselin, NJ
- Newtown Square, PA
- Shelton, CT
What changed
consecutive filings, newest first
- HQ city · NEW YORK to SPRINGFIELDMay 31, 2016 to Jul 18, 2016
- HQ state · NY to MAMay 31, 2016 to Jul 18, 2016
- Business name · METLIFE SECURITIES INC. to MSI FINANCIAL SERVICES, INC.Jul 18, 2016 to Jul 18, 2016
- Legal name · METLIFE SECURITIES INC. to MSI FINANCIAL SERVICES, INC.Jul 18, 2016 to Jul 18, 2016
- Accounts · 99,082 to 105,831Oct 14, 2015 to Dec 1, 2015
- Advisory employees · 4,182 to 4,082Oct 14, 2015 to Dec 1, 2015
- BD registered reps · 6,183 to 6,114Oct 14, 2015 to Dec 1, 2015
- Employees · 8,590 to 8,508Oct 14, 2015 to Dec 1, 2015
- Insurance-licensed employees · 2,893 to 731Oct 14, 2015 to Dec 1, 2015
- State-registered IARs · 4,116 to 3,762Oct 14, 2015 to Dec 1, 2015
- Discretionary RAUM · $3.3B to $3.7BOct 14, 2015 to Dec 1, 2015
- Non-discretionary RAUM · $10B to $10BOct 14, 2015 to Dec 1, 2015
- RAUM · $14B to $14BOct 14, 2015 to Dec 1, 2015
- Accounts · 63,983 to 99,082Dec 23, 2014 to Jan 2, 2015
- Advisory employees · 3,113 to 4,182Dec 23, 2014 to Jan 2, 2015
- BD registered reps · 4,821 to 6,183Dec 23, 2014 to Jan 2, 2015
- Employees · 6,588 to 8,590Dec 23, 2014 to Jan 2, 2015
- Insurance-licensed employees · 1,451 to 2,893Dec 23, 2014 to Jan 2, 2015
- State-registered IARs · 3,047 to 4,116Dec 23, 2014 to Jan 2, 2015
- Discretionary RAUM · $2.5B to $3.3BDec 23, 2014 to Jan 2, 2015
- Non-discretionary RAUM · $5.9B to $10BDec 23, 2014 to Jan 2, 2015
- RAUM · $8.3B to $14BDec 23, 2014 to Jan 2, 2015
- Accounts · 58,618 to 63,983Dec 22, 2014 to Dec 23, 2014
- Advisory employees · 3,166 to 3,113Dec 22, 2014 to Dec 23, 2014
- BD registered reps · 4,724 to 4,821Dec 22, 2014 to Dec 23, 2014
- Employees · 6,914 to 6,588Dec 22, 2014 to Dec 23, 2014
- Insurance-licensed employees · 97 to 1,451Dec 22, 2014 to Dec 23, 2014
- State-registered IARs · 3,010 to 3,047Dec 22, 2014 to Dec 23, 2014
- Discretionary RAUM · $2.0B to $2.5BDec 22, 2014 to Dec 23, 2014
- Non-discretionary RAUM · $5.5B to $5.9BDec 22, 2014 to Dec 23, 2014
- RAUM · $7.5B to $8.3BDec 22, 2014 to Dec 23, 2014
- Accounts · 48,441 to 58,618Oct 22, 2013 to Mar 31, 2014
- Advisory employees · 2,375 to 3,166Oct 22, 2013 to Mar 31, 2014
- BD registered reps · 4,824 to 4,724Oct 22, 2013 to Mar 31, 2014
- Employees · 7,431 to 6,914Oct 22, 2013 to Mar 31, 2014
- Insurance-licensed employees · 25 to 97Oct 22, 2013 to Mar 31, 2014
- State-registered IARs · 2,445 to 3,010Oct 22, 2013 to Mar 31, 2014
- Discretionary RAUM · $1.4B to $2.0BOct 22, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $4.3B to $5.5BOct 22, 2013 to Mar 31, 2014
- RAUM · $5.7B to $7.5BOct 22, 2013 to Mar 31, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- MetLife Securities Inc. · Venture Capitalshared crd · org
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026